RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••••• M• M•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 8, 2018 · Matthews, Nc
- H•••••• T••••••• • K•••• L•• independent RIAJan 5, 2018 to Feb 12, 2018 · Charlotte, Nc
- S•••••••• F••••••••• I••• formerAug 28, 2014 to Jan 9, 2016 · Charlotte, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 29, 2014 to Jul 1, 2014 · Staten Island, Ny
- H•••••• T••••••• • K•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 12, 2018, registered Mar 8, 2018 (24 days) · Other
- S•••••••• F••••••••• I••• to H•••••• T••••••• • K•••• L••left Jan 9, 2016, registered Jan 5, 2018 (727 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• F••••••••• I•••left Jul 1, 2014, registered Aug 28, 2014 (58 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address